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Frequently Asked Questions

What is the IARD website?

Welcome to the IARD TM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system.

How do I contact the IARD system for regulatory issues?

SEC-registered investment advisers may contact SEC staff at [email protected] for regulatory issues. The IARD system is designed to make electronic filing easy and most investment advisers submit their electronic filings through the IARD system without outside help.

What is iriiard?

IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals.

Who is FINRA and what is IARD?

FINRA is the operator of IARD on behalf of the IARD program sponsors which are the SEC and NASAA. In order to ensure consistent delivery of FINRA emails to your inboxes, please add our email domain, FINRA.org to your firm's safe-sender list as soon as possible.


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